The presenters will discuss examination sweep results and best practices derived from them, IA switch firms’ most common violations and recent legislative developments in the industry.

For most of his career, Coakley has represented and counseled businesses in complex litigation and securities broker/dealers and stockbrokers in state and federal courts, arbitrations and before regulatory authorities, including the Securities and Exchange Commission (SEC), the New York Stock Exchange (NYSE) and the National Association of Securities Dealers — the latter two are now the Financial Industry Regulatory Authority (FINRA).

There is no cost to attend. Reservations are required to Sandy Bera at 248.267.3345 or bera@millercanfield.com. This event is limited to investment officers, registered representatives or trust officers.